The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete. |
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM D
Notice of Exempt Offering of Securities
|
| OMB APPROVAL |
| OMB Number: |
3235-0076 |
| Estimated average burden |
| hours per response: |
4.00 |
|
|
1. Issuer's Identity
| CIK (Filer ID Number) |
Previous Names |
|
Entity Type |
| 0000794775 |
| RFMC TACTICAL ADVISORS FUND, LP |
| RFMC WILLOWBRIDGE FUND LP |
| WILLOWBRIDGE FUND LP |
|
| |
Corporation |
| X |
Limited Partnership |
| |
Limited Liability Company |
| |
General Partnership |
| |
Business Trust |
| |
Other (Specify) |
|
| Name of Issuer |
|---|
| BRIDGETON TACTICAL ADVISORS FUND, LP |
| Jurisdiction of Incorporation/Organization |
|---|
| DELAWARE |
| Year of Incorporation/Organization |
|---|
| X |
Over Five Years Ago |
| |
Within Last Five Years (Specify Year) |
|
| |
Yet to Be Formed |
|
2. Principal Place of Business and Contact Information
| Name of Issuer |
|---|
| BRIDGETON TACTICAL ADVISORS FUND, LP |
| Street Address 1 |
Street Address 2 |
| 4647 SAUCON CREEK ROAD |
SUITE 205 |
| City |
State/Province/Country |
ZIP/PostalCode |
Phone Number of Issuer |
| CENTER VALLEY |
PENNSYLVANIA |
18034 |
610-366-3922 |
3. Related Persons
| Last Name |
First Name |
Middle Name |
| ROSEME |
STEPHEN |
J. |
| Street Address 1 |
Street Address 2 |
| 4647 SAUCON CREEK ROAD |
SUITE 205 |
| City |
State/Province/Country |
ZIP/PostalCode |
| CENTER VALLEY |
PENNSYLVANIA |
18034 |
| Relationship: |
X |
Executive Officer |
X |
Director |
|
Promoter |
Clarification of Response (if Necessary):
CHIEF EXECUTIVE OF BRIDGETON FUND MANAGEMENT, LLC, THE GENERAL PARTNER OF THE ISSUER
4. Industry Group
| |
Agriculture |
|
Banking & Financial Services |
|
| |
Commercial Banking |
| |
Insurance |
| |
Investing |
| |
Investment Banking |
| X |
Pooled Investment Fund |
|
| |
Hedge Fund |
| |
Private Equity Fund |
| |
Venture Capital Fund |
| X |
Other Investment Fund |
|
|
Is the issuer registered as
an investment company under
the Investment Company
Act of 1940? |
|
|
| |
Other Banking & Financial Services |
|
| |
Business Services |
|
Energy |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Health Care |
|
|
|
|
|
|
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|
| |
Manufacturing |
|
Real Estate |
|
|
|
|
|
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Retailing |
|
Restaurants |
|
Technology |
|
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Travel |
|
|
|
|
|
| |
Tourism & Travel Services |
|
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|
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Other |
|
5. Issuer Size
| Revenue Range |
OR |
Aggregate Net Asset Value Range |
| |
No Revenues |
|
No Aggregate Net Asset Value |
| |
$1 - $1,000,000 |
|
$1 - $5,000,000 |
| |
$1,000,001 - $5,000,000 |
|
$5,000,001 - $25,000,000 |
| |
$5,000,001 - $25,000,000 |
|
$25,000,001 - $50,000,000 |
| |
$25,000,001 - $100,000,000 |
|
$50,000,001 - $100,000,000 |
| |
Over $100,000,000 |
|
Over $100,000,000 |
| |
Decline to Disclose |
X |
Decline to Disclose |
| |
Not Applicable |
|
Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
|
| |
Rule 504(b)(1) (not (i), (ii) or (iii)) |
|
| |
Rule 504 (b)(1)(i) |
|
| |
Rule 504 (b)(1)(ii) |
|
| |
Rule 504 (b)(1)(iii) |
|
| |
Rule 505 |
|
| X |
Rule 506(b) |
|
| |
Rule 506(c) |
|
| |
Securities Act Section 4(a)(5) |
|
| |
Investment Company Act Section 3(c) |
|
| |
Section 3(c)(1) |
|
Section 3(c)(9) |
|
| |
Section 3(c)(2) |
|
Section 3(c)(10) |
|
| |
Section 3(c)(3) |
|
Section 3(c)(11) |
|
| |
Section 3(c)(4) |
|
Section 3(c)(12) |
|
| |
Section 3(c)(5) |
|
Section 3(c)(13) |
|
| |
Section 3(c)(6) |
|
Section 3(c)(14) |
|
|
|
7. Type of Filing
| |
New Notice |
|
Date of First Sale |
1986-04-21 |
|
|
First Sale Yet to Occur |
| X |
Amendment |
8. Duration of Offering
| Does the Issuer intend this offering to last more than one year? |
|
|
9. Type(s) of Securities Offered (select all that apply)
| |
Equity |
X |
Pooled Investment Fund Interests |
| |
Debt |
|
Tenant-in-Common Securities |
| |
Option, Warrant or Other Right to Acquire Another Security |
|
Mineral Property Securities |
| |
Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
|
Other (describe) |
|
|
10. Business Combination Transaction
| Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
|
|
Clarification of Response (if Necessary):
11. Minimum Investment
| Minimum investment accepted from any outside investor |
$10,000
|
USD |
12. Sales Compensation
| Recipient |
| Recipient CRD Number |
|
None |
|
| Sanders Morris Harris Inc. |
20580 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Sanders Morris Harris Inc. |
20580 |
| Street Address 1 |
Street Address 2 |
| 600 Travis |
Suite 3100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Houston |
TEXAS |
77002 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| FSC Securities Corporation |
7461 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| FSC Securities Corporation |
7461 |
| Street Address 1 |
Street Address 2 |
| 2300 Windy Ridge Parkway |
Suite 1100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Atlanta |
GEORGIA |
30339 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| H. Beck, Inc. |
1763 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| H. Beck, Inc. |
1763 |
| Street Address 1 |
Street Address 2 |
| 11140 Rockville Pike |
4th Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| Rockville |
MARYLAND |
20852 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Multi-Financial Securities Corporation |
10299 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Multi-Financial Securities Corporation |
10299 |
| Street Address 1 |
Street Address 2 |
| 4600 S. Syracuse |
Suite 600 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Denver |
COLORADO |
80237 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Uhlmann Price Securities, LLC |
42854 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Uhlmann Price Securities, LLC |
42854 |
| Street Address 1 |
Street Address 2 |
| 141 W. Jackson Blvd Suite 1340-A |
Suite 1340-A |
| City |
State/Province/Country |
ZIP/Postal Code |
| Chicago |
ILLINOIS |
60604 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Intercarolina Financial Services, Inc. |
19475 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Intercarolina Financial Services, Inc. |
19475 |
| Street Address 1 |
Street Address 2 |
| 3300 Battleground Avenue |
Suite 400 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Greensboro |
NORTH CAROLINA |
27410 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| FLORIDA |
| GEORGIA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MARYLAND |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Wells Fargo Advisors, LLC |
19616 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Wells Fargo Advisors, LLC |
19616 |
| Street Address 1 |
Street Address 2 |
| One North Jefferson Ave. |
| City |
State/Province/Country |
ZIP/Postal Code |
| St. Louis |
MISSOURI |
63103 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| BFT Financial Group, LLC |
109121 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| BFT Financial Group, LLC |
109121 |
| Street Address 1 |
Street Address 2 |
| 2312 School Lane |
| City |
State/Province/Country |
ZIP/Postal Code |
| Bedford |
TEXAS |
76021 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| DISTRICT OF COLUMBIA |
| GEORGIA |
| HAWAII |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| LOUISIANA |
| MARYLAND |
| MINNESOTA |
| MISSOURI |
| NEBRASKA |
| NEVADA |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OKLAHOMA |
| PENNSYLVANIA |
| TEXAS |
| UTAH |
| VIRGINIA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| PrimeVest Financial Services, Inc. |
15340 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| PrimeVest Financial Services, Inc. |
15340 |
| Street Address 1 |
Street Address 2 |
| 400 First Street South |
Suite 300 |
| City |
State/Province/Country |
ZIP/Postal Code |
| St. Cloud |
MINNESOTA |
56301 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Pavek Investments, Inc. |
15791 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Pavek Investments, Inc. |
15791 |
| Street Address 1 |
Street Address 2 |
| 3603 N. Hastings Way |
Suite 100 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Eau Claire |
WISCONSIN |
54703 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Polar Investment Council |
42847 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Polar Investment Council |
42847 |
| Street Address 1 |
Street Address 2 |
| 19547 210th Ave. NE |
| City |
State/Province/Country |
ZIP/Postal Code |
| Thief River Falls |
MINNESOTA |
56701 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| The Strategic Financial Alliance, Inc. |
126514 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| The Strategic Financial Alliance, Inc. |
126514 |
| Street Address 1 |
Street Address 2 |
| 2200 Century Parkway |
Suite 500 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Atlanta |
GEORGIA |
30345 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Pacific West Securities, Inc. |
6390 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Pacific West Securities, Inc. |
6390 |
| Street Address 1 |
Street Address 2 |
| 555 S. Renton Village Place |
Suite 700 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Renton |
WASHINGTON |
98055 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| VFG Securities, Inc. |
15121 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| VFG Securities, Inc. |
15121 |
| Street Address 1 |
Street Address 2 |
| 632 Arizona Avenue |
| City |
State/Province/Country |
ZIP/Postal Code |
| Santa Monica |
CALIFORNIA |
90401 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| CALIFORNIA |
| COLORADO |
| LOUISIANA |
| MARYLAND |
| NEBRASKA |
| NEVADA |
| NEW YORK |
| NORTH DAKOTA |
| OREGON |
| TENNESSEE |
| TEXAS |
| UTAH |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Heritage Financial Systems Inc. |
133019 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Heritage Financial Systems Inc. |
133019 |
| Street Address 1 |
Street Address 2 |
| 5 Great Valley Pkwy |
Suite 334 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Malvern |
PENNSYLVANIA |
19355 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Geneos Wealth Management, Inc. |
12089 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Geneos Wealth Management, Inc. |
120894 |
| Street Address 1 |
Street Address 2 |
| 9055 E. Mineral Circle |
Suite 200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Centennial |
COLORADO |
80112 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Thomas McDonald Partners, LLC |
135414 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Thomas McDonald Partners, LLC |
135414 |
| Street Address 1 |
Street Address 2 |
| 959 W. St. Clair Avenue |
3rd Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| Cleveland |
OHIO |
44113 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KENTUCKY |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Alternative Wealth Strategies, Inc. |
130933 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Alternative Wealth Strategies, Inc. |
130933 |
| Street Address 1 |
Street Address 2 |
| 1040 N. Kings Highway |
Suite 302 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Cherry Hill |
NEW JERSEY |
08034 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| DISTRICT OF COLUMBIA |
| MAINE |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW YORK |
| RHODE ISLAND |
| VIRGINIA |
| WEST VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Cambridge Investment Research, Inc. |
39543 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Cambridge Investment Research, Inc. |
39543 |
| Street Address 1 |
Street Address 2 |
| 1776 Pleasant Plain Road |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fairfield |
IOWA |
52556 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| American Portfolios Financial Services, Inc. |
18487 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| American Portfolios Financial Services, Inc. |
18487 |
| Street Address 1 |
Street Address 2 |
| 4250 Veterans Memorial Highway |
4th Floor East |
| City |
State/Province/Country |
ZIP/Postal Code |
| Holbrook |
NEW YORK |
11741 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| First Alllied Securities, Inc. |
32444 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| First Allied Securities, Inc. |
32444 |
| Street Address 1 |
Street Address 2 |
| 655 West Broadway |
12th Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| San Diego |
CALIFORNIA |
92101 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Tricor Financial, LLC |
142518 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Tricor Financial, LLC |
142518 |
| Street Address 1 |
Street Address 2 |
| 7201 W. Lake Mead Blvd. |
Suite 114 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Las Vegas |
NEVADA |
89128 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALASKA |
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| DELAWARE |
| FLORIDA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MONTANA |
| NEVADA |
| NEW JERSEY |
| NEW YORK |
| OHIO |
| OKLAHOMA |
| OREGON |
| SOUTH CAROLINA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| WASHINGTON |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| The (Wilson) Williams Financial Group, Inc. |
22704 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| The (Wilson) Williams Financial Group, Inc. |
22704 |
| Street Address 1 |
Street Address 2 |
| 2711 N. Haskell Ave. |
Suite 2900 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Dallas |
TEXAS |
75204 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Naples AIS, Inc. |
142927 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Naples AIS, Inc. |
142927 |
| Street Address 1 |
Street Address 2 |
| 23150 Fashion Drive |
Suite 231 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Estero |
FLORIDA |
33928 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| MASSACHUSETTS |
| MICHIGAN |
| MISSOURI |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| TEXAS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| SCF Securities, Inc. |
47275 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| SCF Securities, Inc. |
47275 |
| Street Address 1 |
Street Address 2 |
| 155 E. Shaw Avenue |
Suite 102 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fresno |
CALIFORNIA |
93710 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALASKA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| DISTRICT OF COLUMBIA |
| FLORIDA |
| GEORGIA |
| HAWAII |
| IDAHO |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| LOUISIANA |
| MAINE |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEBRASKA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VERMONT |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| C.K. Cooper & Company, Inc. |
106578 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| C.K. Cooper & Company, Inc. |
106578 |
| Street Address 1 |
Street Address 2 |
| 18300 Von Karman Ave. |
Suite 700 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Irvine |
CALIFORNIA |
92612 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| HAWAII |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| LOUISIANA |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| NEVADA |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| NORTH DAKOTA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| TEXAS |
| VIRGINIA |
| WASHINGTON |
| WEST VIRGINIA |
| WISCONSIN |
| WYOMING |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Silver Oak Securities, Incorporated |
46947 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Silver Oak Securities, Incorporated |
46947 |
| Street Address 1 |
Street Address 2 |
| 3339 N. Highland Ave. |
| City |
State/Province/Country |
ZIP/Postal Code |
| Jackson |
TENNESSEE |
38305 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| DELAWARE |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| INDIANA |
| IOWA |
| KANSAS |
| KENTUCKY |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSISSIPPI |
| MISSOURI |
| MONTANA |
| NEVADA |
| NEW HAMPSHIRE |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OKLAHOMA |
| OREGON |
| PENNSYLVANIA |
| SOUTH CAROLINA |
| SOUTH DAKOTA |
| TENNESSEE |
| TEXAS |
| UTAH |
| VIRGINIA |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Steven A. Kohn & Associates, Ltd |
41067 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Steven A. Kohn & Associates, Ltd. |
41067 |
| Street Address 1 |
Street Address 2 |
| 3232 S. Vance St. |
Suite 210 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Lakewood |
COLORADO |
80227 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| FLORIDA |
| IDAHO |
| ILLINOIS |
| IOWA |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| NEVADA |
| NEW JERSEY |
| NEW YORK |
| OHIO |
| OREGON |
| PENNSYLVANIA |
| TEXAS |
| VIRGINIA |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Capital Guardian, LLC |
137919 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Capital Guardian, LLC |
137919 |
| Street Address 1 |
Street Address 2 |
| 2709 Water Ridge Parkway |
| City |
State/Province/Country |
ZIP/Postal Code |
| Charlotte |
NORTH CAROLINA |
28217 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Sterling Enterprise Group, Inc. |
44915 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Sterling Enterprise Group, Inc. |
44915 |
| Street Address 1 |
Street Address 2 |
| 6827 First Avenue South |
| City |
State/Province/Country |
ZIP/Postal Code |
| St. Petersburg |
FLORIDA |
33707 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| CALIFORNIA |
| COLORADO |
| CONNECTICUT |
| FLORIDA |
| GEORGIA |
| INDIANA |
| KENTUCKY |
| MARYLAND |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| NEBRASKA |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| TEXAS |
| VIRGINIA |
| WASHINGTON |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Purshe Kaplan Sterling |
35747 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Purshe Kaplan Sterling |
35747 |
| Street Address 1 |
Street Address 2 |
| 18 Corporate Woods Blvd |
| City |
State/Province/Country |
ZIP/Postal Code |
| Albany |
NEW YORK |
12211 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| John T. Studnicky |
1722691 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| BrokersXpress, LLC |
127081 |
| Street Address 1 |
Street Address 2 |
| 311 West Monroe St. |
Suite 1000 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Chicago |
ILLINOIS |
60606 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| CALIFORNIA |
| CONNECTICUT |
| FLORIDA |
| GEORGIA |
| MAINE |
| MARYLAND |
| MISSISSIPPI |
| NEW JERSEY |
| NEW MEXICO |
| NEW YORK |
| OHIO |
| PENNSYLVANIA |
| TENNESSEE |
| TEXAS |
| VERMONT |
| VIRGINIA |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| VSR Financial Services, Inc. |
14503 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| VSR Financial Services, Inc. |
14503 |
| Street Address 1 |
Street Address 2 |
| 8620 W. 110th Street |
200 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Overland Park |
KANSAS |
66210 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| MidAmerica Financial Services, Inc. |
47351 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| MidAmerica Financial Services, Inc. |
47351 |
| Street Address 1 |
Street Address 2 |
| 1007 E. 20th Street |
| City |
State/Province/Country |
ZIP/Postal Code |
| Joplin |
MISSOURI |
64804 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| E.D. & F. Man |
15770 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| E.D. & F. Man |
15770 |
| Street Address 1 |
Street Address 2 |
| One Rockefeller Plaza |
16th Floor |
| City |
State/Province/Country |
ZIP/Postal Code |
| New York |
NEW YORK |
10022 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
X |
All States |
|
|
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Capital Management Partners, Inc. |
21973 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Capital Management Partners, Inc. |
21973 |
| Street Address 1 |
Street Address 2 |
| 1100 N. Fourth Street |
Suite 141 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Fairfield |
IOWA |
52556 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ALABAMA |
| CALIFORNIA |
| CONNECTICUT |
| FLORIDA |
| GEORGIA |
| ILLINOIS |
| IOWA |
| KANSAS |
| MASSACHUSETTS |
| MICHIGAN |
| MINNESOTA |
| MISSOURI |
| NEW HAMPSHIRE |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| OREGON |
| TEXAS |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Ryan Y. Poage |
2931221 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Securities America, Inc. |
10201 |
| Street Address 1 |
Street Address 2 |
| 801 W. 47th Street |
Suite 204 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Kansas City |
MISSOURI |
64112 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| ARIZONA |
| ARKANSAS |
| CALIFORNIA |
| COLORADO |
| GEORGIA |
| IDAHO |
| ILLINOIS |
| IOWA |
| KANSAS |
| MICHIGAN |
| MISSOURI |
| NEBRASKA |
| NEVADA |
| NEW YORK |
| TENNESSEE |
| TEXAS |
| WISCONSIN |
|
| Recipient |
| Recipient CRD Number |
|
None |
|
| Joseph A. Gunther |
1822022 |
| (Associated) Broker or Dealer |
|
None |
|
| (Associated) Broker or Dealer CRD Number |
|
None |
|
| Securities America, Inc. |
10205 |
| Street Address 1 |
Street Address 2 |
| 19 Eaton Avenue |
Suite 400 |
| City |
State/Province/Country |
ZIP/Postal Code |
| Norwich |
NEW YORK |
13815 |
State(s) of Solicitation (select all that apply)
Check “All States” or check individual States |
|
All States |
|
|
| CALIFORNIA |
| CONNECTICUT |
| FLORIDA |
| GEORGIA |
| HAWAII |
| INDIANA |
| MAINE |
| MARYLAND |
| NEW JERSEY |
| NEW YORK |
| NORTH CAROLINA |
| OHIO |
| PENNSYLVANIA |
| RHODE ISLAND |
| SOUTH CAROLINA |
| TEXAS |
| VIRGINIA |
| WISCONSIN |
|
13. Offering and Sales Amounts
| Total Offering Amount |
$200,000,000
|
USD |
|
| Total Amount Sold |
$126,336,164
|
USD |
| Total Remaining to be Sold |
$73,663,836
|
USD |
|
Clarification of Response (if Necessary):
14. Investors
|
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering. |
|
|
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: |
|
15. Sales Commissions & Finder's Fees Expenses
Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
| Sales Commissions |
$176,200
|
USD |
|
| Finders' Fees |
$0
|
USD |
|
Clarification of Response (if Necessary):
16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
Clarification of Response (if Necessary):
Signature and Submission
Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.
Terms of Submission
| In submitting this notice, each issuer named above is: |
- Notifying the SEC and/or each State in which this notice is filed of the offering of
securities described and undertaking to furnish them, upon written request, in the accordance with applicable
law, the information furnished to offerees.*
- Irrevocably appointing each of the Secretary of the SEC and, the Securities Administrator
or other legally designated officer of the State in which the issuer maintains its principal
place of business and any State in which this notice is filed, as its agents for service of
process, and agreeing that these persons may accept service on its behalf, of any notice,
process or pleading, and further agreeing that such service may be made by registered or
certified mail, in any Federal or state action, administrative proceeding, or arbitration
brought against the issuer in any place subject to the jurisdiction of the United States, if the
action, proceeding or arbitration (a) arises out of any activity in connection with the
offering of securities that is the subject of this notice, and (b) is founded, directly or
indirectly, upon the provisions of: (i) the Securities Act of 1933, the Securities Exchange
Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, or the
Investment Advisers Act of 1940, or any rule or regulation under any of these statutes, or (ii)
the laws of the State in which the issuer maintains its principal place of business or any State
in which this notice is filed.
- Certifying that, if the issuer is claiming a Regulation D exemption for the offering, the issuer is not disqualified from relying on Regulation D for one of the reasons stated in Rule 505(b)(2)(iii) or Rule 506(d).
|
Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.
| Issuer |
Signature |
Name of Signer |
Title |
Date |
| BRIDGETON TACTICAL ADVISORS FUND, LP |
Stephen J. Roseme |
Stephen J. Roseme |
Chief Executive of Bridgeton Tactical Advisors Fund, LP |
2014-11-25 |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
* This undertaking does not affect any limits Section 102(a) of the National Securities Markets
Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to
require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes
of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot
routinely require offering materials under this undertaking or otherwise and can require offering materials only to the
extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.